industry member cat reporter portal user guide...industry member cat reporter portal user guide 3...

Industry Member

CAT Reporter Portal

User Guide

11/04/2019

Version 1.0

Industry Member CAT Reporter Portal User Guide 2

Table of Contents Change Log.................................................................................................................................................. 3

Overview ...................................................................................................................................................... 4

Companion Documents .............................................................................................................................. 5

1. Entitlement and User Roles ............................................................................................................... 6

2. Technical Requirements .................................................................................................................... 7

3. Access Information ............................................................................................................................ 8

4. Data Perspectives ............................................................................................................................... 9

5. Landing Page .................................................................................................................................... 10

5.1. Announcements ............................................................................................................................... 10

6. Reporting Feedback ......................................................................................................................... 11

6.1. Reporting Summary ......................................................................................................................... 11

6.2. File Status.......................................................................................................................................... 11

7. Error Corrections .............................................................................................................................. 12

7.1. Error Summary ................................................................................................................................. 12

7.2. Errors ................................................................................................................................................. 12

7.3. Error Repair ....................................................................................................................................... 12

8. Report to CAT ................................................................................................................................... 13

8.1. Upload Data File ............................................................................................................................... 13

8.2. Download Feedback File .................................................................................................................. 13

9. Reporting Relationships .................................................................................................................. 14

9.1. Usage of Reporting Relationships .................................................................................................. 14

9.2. Reporting Relationship Fields, Rules, and Validations ................................................................ 15

9.3. View and Export CAT Reporting Relationships ............................................................................ 18

9.4. Add a CAT Reporting Relationship ................................................................................................ 20

9.5. Manage Existing Reporting Relationships .................................................................................... 21

9.6. Invalidation of an IMID ..................................................................................................................... 23

10. ATS Order Types .............................................................................................................................. 24

10.1. Usage of ATS Order Types .............................................................................................................. 24

10.2. ATS Order Type Fields, Rules, and Validations ............................................................................ 24

10.3. View and Export ATS Order Types ................................................................................................. 25

10.4. Add an ATS Order Type ................................................................................................................... 26

10.5. Manage Existing ATS Order Types ................................................................................................. 27

10.6. Invalidation of an IMID ..................................................................................................................... 29


Change Log

Version Date Published Description of Change(s)

1.0 11/04/2019 User Guide published to Industry Members.


Overview

The Industry Member CAT Reporter Portal (“Portal”) is a web-based tool that allows CAT Reporters to

monitor and manage data submissions to CAT. The Portal includes end-to-end capability for providing

complete and accurate data to CAT, including the ability to manually enter and upload data, monitor all

submissions, and review and correct errors.

Additionally, the Portal provides access to reporting statistics including information on an Industry

Member’s submissions and error rates as well as its performance compared to that of its peers. Users

can also access other CAT related information including system announcements, system status, and

additional resources.

Questions

Questions related to this document may be directed to the FINRA CAT Helpdesk at 888-696-3348 or at

[email protected].

IMPORTANT NOTE ABOUT THE CONTENT OF THIS USER GUIDE

The information provided in this version of the Industry Member CAT Reporter Portal User

Guide corresponds to functionality delivered for the November 2019 Industry Test Release

only.

This guide will be updated with further content in conjunction with each Industry Test cycle, per the

following schedule:

Industry Test Release 1 (November 18, 2019): Reporting Relationships and ATS Order Types

Industry Test Release 2 (December 16, 2019): Basic Statistics, Data File Upload, and Feedback

Download

Industry Test Release 3 (February 24, 2019): Reporting Statistics, Error Feedback, Error Corrections,

and Announcements

mailto:[email protected]


Companion Documents

CAT Reporting Technical Specifications for Industry Members, CAT Industry Member Reporting

Scenarios, and Industry Member JSON Schema: https://www.catnmsplan.com/technical-

specifications/index.html

Connectivity Supplement for Industry Members: https://www.catnmsplan.com/registration/

Frequently Asked Questions: https://www.catnmsplan.com/faq/index.html

Industry Member Onboarding Guide: https://www.catnmsplan.com/registration/

https://www.catnmsplan.com/technical-specifications/index.htmlhttps://www.catnmsplan.com/technical-specifications/index.htmlhttps://www.catnmsplan.com/registration/https://www.catnmsplan.com/faq/index.htmlhttps://www.catnmsplan.com/registration/


1. Entitlement and User Roles

Prior to accessing the Portal, an individual must have a CAT user account with an assigned user role that

provides access to the Portal. See the Industry Member Onboarding Guide for details on obtaining a user

account and assigning user roles.

User roles for the Industry Member Portal include CAT Account Administrator, CAT User, and CAT Read-

Only. The abilities for each user role are:

Task CAT Account Admin

CAT User

CAT Read-Only

Create/Manage CAT Users (via the FINRA Entitlement system)

X

View/Export Feedback (including announcements, reporting statistics, and error feedback)

X X X

View Reporting Relationships and ATS Order Types X X X

Create/Edit Reporting Relationships X X

Create/Edit ATS Order Types X X

Create/Transmit data X X

Repair CAT Errors (including bulk repairs)

X X

Create/Edit User Preferences X X

Upload Data File (via Portal)

X X

Download Feedback X X X

View Monthly Report Card X X X

https://www.catnmsplan.com/registration/


2. Technical Requirements

The CAT Reporter Portal supports HTML5-compatible browsers including Chrome, Firefox, and Safari.

Using any other browser may result in the inability to access the Portal.

See the FINRA CAT Connectivity Supplement for Industry Members available at

https://www.catnmsplan.com/registration/ for the available connection methods and all corresponding

technical requirements.

https://www.catnmsplan.com/registration/


3. Access Information

For web-based users accessing the Portal directly through an internet browser:

Production URL CT/Industry Test URL

https://srg.catnms.com https://srg.ct.catnms.com

For private line users accessing the Portal through a third-party Managed Service Provider:


https://reporterportal.catnms.com https://reporterportal.ct.catnms.com

For AWS private link users1:


https://reporterportal-pl.catnms.com https://reporterportal-pl.ct.catnms.com

1 Connectivity via AWS Private Link will be available in February 2020.

https://srg.catnms.com/https://srg.ct.catnms.com/https://reporterportal.catnms.com/https://reporterportal.ct.catnms.com/https://reporterportal-pl.catnms.com/https://reporterportal-pl.ct.catnms.com/


4. Data Perspectives

The Portal provides the ability to view data via defined data perspectives. This allows users to view data

for their organization aggregated in various ways.

The available perspectives are:

The Firm perspective, which displays data applicable to the user’s firm as a CAT Reporter. This

includes all data provided by the firm as a CAT Reporter and all data provided by a Submitter on

behalf of the firm. This perspective is available when the user’s organization is a CAT Reporter.

The Submitter (Reporting Agent) perspective, which displays data applicable to the user’s

organization as a CAT Reporting Agent. This includes all data submitted to CAT by the user’s

organization on behalf of a CAT Reporter. This perspective is available when the user’s

organization acts as a Submitter/CAT Reporting Agent.

The Third-Party Reporting Agent perspective2, which displays data applicable to the user’s

organization as a Third-Party Reporting Agent. This includes all data submitted where the user’s

organization was identified as the Third-Party Reporting Agent. This perspective is available

when the user’s organization acts as a Third-Party Reporting Agent.

2 The Third-Party Reporting Agent perspective will be implemented at a future date.


5. Landing Page

February Industry Test Cycle: Announcements

5.1. Announcements


6. Reporting Feedback

December Industry Test Cycle: Basic Statistics

February Industry Test Cycle: Comprehensive Statistics

6.1. Reporting Summary

6.2. File Status


7. Error Corrections

February Industry Test Cycle: Syntax/Semantic Error Corrections

7.1. Error Summary

7.2. Errors

7.3. Error Repair


8. Report to CAT

December Industry Test Cycle: Upload Data File, Download Feedback File

8.1. Upload Data File

8.2. Download Feedback File


9. Reporting Relationships

A CAT Reporting Relationship establishes a link between a CAT Reporter and a Submitter for purposes

of transmitting and viewing CAT data. A relationship is comprised of:

One CAT Reporter. This identifies the firm that is required to submit data to CAT and for which

data may be transmitted and viewed.

One IMID. This identifies the IMID for the CAT Reporter for which data may be transmitted and

viewed.

One Submitter. This identifies the organization that may transmit and view data on behalf of the

CAT Reporter/IMID.

One optional Third-Party Reporting Agent. When provided, this identifies the organization that

may view transmitted data and initiate corrections to that data on behalf of the CAT

Reporter/IMID.

A reporting relationship must be manually created in CAT before a Submitter may transmit data on behalf

of the CAT Reporter. Only the CAT Reporter can create and manage Reporting Relationships. A

CAT Reporter may have multiple active relationships at any time. Self-reporting firms are not required or

able to establish a self-reporting relationship.

Information regarding the creation, management, and use of CAT Reporting Relationships via the Portal

is provided below.

9.1. Usage of Reporting Relationships

A reporting relationship allows the Submitter to transmit data on behalf of the CAT Reporter. This includes

the ability to submit data and to view feedback for and make corrections to that data. A Submitter may

only view and make corrections data that was transmitted by the Submitter.

A reporting relationship allows the Third-Party Reporting Agent to view transmitted data and initiate

corrections to that data on behalf of the CAT Reporter.3 A Third-Party Reporting Agent may only view

and initiate corrections on data if the Third-Party Reporting Agent was designated upon

submission of that data.

3 A Third-Party Reporting Agent may initiate corrections; however, unless the Third-Party Reporting Agent also has a relationship with the CAT Reported IMID as a Submitter, it may not submit the corrections.


As an example, consider the following reporting relationships for Firm 999: ABC Securities.

CAT

Reporter

IMID

Submitter Third-Party

Reporting

Agent

Permissions

ABCD 123 123 can transmit data and view corresponding feedback

on behalf of 999/ABCD.

ABCD 123 456 123 can transmit data and view corresponding feedback

on behalf of 999/ABCD. 456 may optionally be identified

as the Third-Party Reporting Agent.

456 can view feedback and initiate corrections on behalf

of 999/ABCD for data transmitted where 456 was

identified as the Third-Party Reporting Agent during

submission.

ABCD 456 456 can transmit data and view corresponding feedback

on behalf of 999/ABCD.

A CAT Reporting Relationship is valid from the effective date to the expiration date (if provided), inclusive

of these dates. Any data provided by the Submitter on behalf of the CAT Reporter IMID prior to the

effective date or after the expiration date is rejected. Similarly, any data provided by a Submitter on behalf

of a CAT Reporter that designates a Third-Party Reporting Agent where an active reporting relationship

does not exist for the CAT Reporter, Submitter, and Third-Party Reporting Agent at the time of

submission is rejected.

When a relationship expires, the Submitter and Third-Party Reporting Agent may still view any data that

was submitted while the relationship was active. However, they can no longer submit corrections to that

data.

9.2. Reporting Relationship Fields, Rules, and Validations

Each CAT Reporting Relationship includes the following data:


Field Field Description Required Format Rules/Validations

CAT

Reporter

IMID

The SRO-assigned

identifier4 that a Firm

uses to report information

to CAT.

Yes Dropdown

Selection

Selection includes all IMIDs

for the CAT Reporter, per

the IMID List.

Submitter The CRD Number for the

CAT Reporting

Agent/Submitter.

Yes Dropdown

Selection

Must not be the CRD

Number of the CAT

Reporter, unless a Third-

Party Reporting Agent is

also identified. 5

Must not be the same as the

Third-Party Reporting Agent.

Third-Party

Reporting

Agent

The CRD Number for the

Third-Party Reporting

Agent.

No Dropdown

Selection

Must not be the CRD

Number of the CAT

Reporter.

Must not be the same as the

Submitter.

Effective

Date

The first date on which

the Reporting

Relationship is available

for submitting and

managing data.

Yes Date

(MM/DD/YYYY)

Must be on or after the

current date.

Expiration

Date

The last date on which

the Reporting

Relationship is available

for submitting and

managing data.

No Date

(MM/DD/YYYY)


Effective Date.


current date.

4 Examples of SRO-assigned identifiers include FINRA MPIDs, Nasdaq MPIDs, NYSE Mnemonics, CBOE User Acronyms, and CHX Acronyms. 5 To allow a Third-Party Reporting Agent to act on behalf of a self-reporting firm, a relationship must be established listing the Firm as the Submitter and designating the Third-Party Reporting Agent. The system does NOT accept a relationship that lists the self-reporting Firm as the Submitter and does not designate a Third-Party Reporting Agent.


9.2.1. Duplicate and Overlapping Reporting Relationships

To ensure data integrity, CAT does not allow two relationships to duplicate one another. When

determining if two relationships would be duplicative, CAT considers the CAT Reporter IMID, Submitter,

and Third-Party Reporting Agent for the relationships as well as the Effective and Expiration Dates. The

following diagram illustrates the possible scenarios when comparing two relationships:

CAT Reporter IMID

Submitter ID

Third-Party Reporting Agent ID

A D B

C

EF

Relationships that share one or two of the three primary data points are not duplicative. Two

relationships may have:

A. The same CAT Reporter IMID but a different Submitter ID and Third-Party Reporting Agent ID.

B. The same Submitter ID but a different CAT Reporter IMID and Third-Party Reporting Agent ID.

C. The same Third-Party Reporting Agent ID but a different CAT Reporting IMID and Submitter ID.

D. The same CAT Reporter IMID and Submitter ID but a different Third-Party Reporting Agent ID.6

E. The same Submitter ID and Third-Party Reporting Agent ID but a different CAT Reporter IMID.

F. The same CAT Reporter IMID and Third-Party Reporting Agent but a different Submitter ID.

Relationships with the same CAT Reporter IMID and Submitter ID and Third-Parting Reporting Agent

require further review. In such cases, CAT uses the Effective and Expiration Dates to determine if the

6 When a relationship with a Third-Party Reporting Agent exists, the Submitter for the relationship has the ability to submit data on behalf of the CAT Reporter without designating the Third-Party Reporting Agent. This inherently gives the Submitter the ability to act on behalf of the CAT Reporter, thereby mimicking a relationship with the CAT Reporter IMID and Submitter without the Third-Party Reporting Agent being identified. The system prevents the creation of such relationships.

Specifically, if the relationship with the Third-Party Reporting Agent is created first, a user may not create a subsequent relationship with the same IMID and Submitter and no Third-Party Reporting Agent. However, if the relationship without the Third-Party Reporting agent is created first, a user may subsequently create other relationships with the same Submitter and a Third-Party Reporting Agent. The system permits the creation of two such relationships on the same day only.


relationships are duplicative. The user may proceed when the date ranges of the two relationships do not

overlap or meet.

9.3. View and Export CAT Reporting Relationships

To view all Reporting Relationships for the Firm:

1. Click Reporting Relationships on the left-hand navigation panel.

2. All relationships for the Firm are displayed, including those that are currently active, have a future

effective date, are pending expiration, or have already expired.

Reporting relationships are displayed in two categories:

The Reporter View displays all relationships where the user’s firm is the CAT Reporter. This is

the list of Submitters and Third-Party Reporting Agents that have been authorized by the user’s

firm to act on its behalf. These relationships have been created by and must be managed by the

user’s Firm.

The Submitter/Third-Party View displays all relationships where the user’s organization has

been named as a Submitter or Third-Party Reporting Agent. This is the list of CAT Reporters that

have authorized the user’s organization act on its behalf. All records are read-only; relationships

must be edited by the CAT Reporter.

Users may optionally filter, sort, or export the Reporting Relationships. The Reporter View content and

the Submitter/Third-Party View content must be filtered, sorted, and exported separately.

3. To filter a list, click for any column and make one or more selections.

4. To sort a list, click any Column Header to sort by that column.


5. To export a list, click Export for the corresponding view. If filters have been applied to the list, only

the relationships meeting the specified filter criteria are exported.

View or download the generated CSV file using the internet browser functionality.


9.4. Add a CAT Reporting Relationship

The CAT Reporter must create a CAT Reporting Relationship before the Submitter or Third-Party

Reporting Agent is able to act on its behalf.

To add a new CAT Reporting Relationship:

1. Click Add New.

2. Enter the details for the relationship. See Reporting Relationship Fields, Rules, and Validations above

for details on field requirements, formats, and validations.

3. Click Save. The new relationship is displayed on the Reporter View list.


9.5. Manage Existing Reporting Relationships

A relationship may be edited as follows:

For a future-dated relationship (where the Effective Date is after the current date), all fields may

be edited.

For a currently active relationship (where the Effective Date is on or before the current date

and the Expiration Date is blank or is on or after the current date), only the Expiration Date may

be edited.

For an expired relationship (where the Expiration Date is before the current date), no fields may

be edited.

To edit a non-expired CAT Reporting Relationship:

1. Click for the relationship on the Reporter View list.


2. Make the desired update(s). See Reporting Relationship Fields, Rules, and Validations above for

details on field requirements, formats, and validations.

3. Click Update. The updated information is displayed on the Reporter View list.


9.6. Invalidation of an IMID

A CAT Reporting Relationship is only valid as long as the corresponding CAT Reporter IMID is valid.

When an IMID is no longer valid, all active CAT Reporting Relationships for that IMID are no longer valid.

All organizations designated as a Submitter and/or Third-Party Reporting Agent for that IMID may no

longer transmit data under that relationship. The Submitter and Third-Party Reporting Agent may continue

to view data that was submitted while the IMID was valid; however, they can no longer submit corrections

to that data.


10. ATS Order Types

The CAT Industry Member Technical Specifications require Industry Members operating an Alternative

Trading System (ATS) to populate the atsOrderType field on the CAT Equity New Order and Order

Accepted events. The Firm must register the order type with CAT prior to submitting events referencing

that ATS Order Type. Industry Members should register an ATS Order Type with CAT at least 20

days prior to the effective date.

Information regarding the creation and management of ATS Order Types via the Portal is provided in the

following sections.

10.1. Usage of ATS Order Types

When the atsOrderType is provided on an event, the value must match a valid ATS Order Type for the

IMID. An ATS Order Type is valid from the effective date to the expiration date (if provided), inclusive of

these dates. Any event submitted using the ATS Order Type prior to the effective date or after the

expiration date is rejected.

10.2. ATS Order Type Fields, Rules, and Validations

Each ATS Order Type includes the following data:


CAT

Reporter

IMID

The SRO-assigned

identifier7 that a Firm

uses to report information

to CAT for the ATS.

Yes Dropdown

Selection

Selection includes all ATS

IMIDs for the CAT Reporter,

per the IMID List.

ATS Order

Type

The order type that is

used when reporting

events to CAT.

Yes Text Maximum of 40 characters.

Description The user-provided

description.

Yes Text Maximum of 500

characters.

Effective

Date

The first date on which

the ATS Order Type is

accepted for submission.

Yes Date

(MM/DD/YYYY)


current date.

7 Examples of SRO assigned identifiers include FINRA MPIDs, Nasdaq MPIDs, NYSE Mnemonics, CBOE User Acronyms, and CHX Acronyms.

https://www.catnmsplan.com/technical-specifications/index.html



Expiration

Date

The last date on which

the ATS Order Type is

accepted for submission.

No Date

(MM/DD/YYYY)


Effective Date.


current date.

10.2.1. Duplicate and Overlapping ATS Order Types

To ensure data integrity, CAT does not allow two order types to duplicate one another. When determining

two order types would be duplicative, CAT considers the CAT Reporter IMID and the ATS Order Type as

well as the Effective and Expiration Dates.

Order types that share one of the two primary data points are not duplicative. Two order types may have

the same CAT Reporter IMID or the same ATS Order Type. However, order types with the same IMID

and ATS Order Type require additional review. In these cases, CAT uses the Effective and Expiration

Dates to determine if the order types are duplicative. The user may proceed when the date ranges of the

order types do not overlap or meet.

10.3. View and Export ATS Order Types

To view all ATS Order Types for the Firm:

1. Click ATS Order Types on the left-hand navigation panel.

2. All ATS Order Types for the Firm are displayed, including those that are currently active, have a

future effective date, are pending expiration, or have already expired.

Users may optionally filter, sort, or export the ATS Order Types.

3. To filter the list, click for any column and make one or more selections.


4. To sort the list, click any Column Header to sort by that column.

5. To export the, click Export. If filters have been applied to the list, only the relationships meeting the

specified filter criteria are exported.

View or download the generated CSV file using the internet browser functionality.

10.4. Add an ATS Order Type

An ATS Order Type must be entered into CAT at least 20 days prior to the effective date.8

To add a new ATS Order Type:

1. Click Add New.

8 The ATS Order Type should be created at least 20 days prior to the Effective Date pursuant to FINRA rules. An ATS Order Type may be created with an Effective Date that is equal to or greater than the current date, even if it within the next 20 days.


2. Enter the details for the order type. See ATS Order Type Fields, Rules, and Validations above for

details on field requirements, formats, and validations.

3. Click Save. The new order type is displayed on the list of ATS Order Types.

10.5. Manage Existing ATS Order Types

An order type may be edited as follows:


For a future-dated order type (where the Effective Date is after the current date), all fields may

be edited.

For a currently active order type (where the Effective Date is on or before the current date and

the Expiration Date is blank or is on or after the current date), the Expiration Date and Description

may be edited.

For an expired order type (where the Expiration Date is before the current date), no fields may

be edited.

To edit a non-expired ATS Order Type:

1. Click for the order type.

2. Make the desired update(s). See ATS Order Type Fields, Rules, and Validations above for details on

field requirements, formats, and validations.

3. Click Update. The updated information is displayed on the ATS Order Types list.


10.6. Invalidation of an IMID

An ATS Order Type is only valid as long as the corresponding CAT Reporter IMID is valid. When an IMID

is no longer valid, all active ATS Order Types are no longer valid and all Equity New Order or Order

Accepted events submitted with that ATS Order Type are rejected.